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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
3rd Quarter, 2007
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on the NYSE
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
20.4 |
79.6 |
| NYSE |
60.2 |
14.2 |
46.0 |
| TRIM |
20.3 |
4.1 |
16.2 |
| ARCA |
9.7 |
0.0 |
9.7 |
| INET |
9.8 |
2.1 |
7.7 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
14.1 |
85.9 |
| AMEX |
54.6 |
8.4 |
46.2 |
| ARCA |
26.4 |
4.7 |
21.7 |
| TRIM |
9.6 |
1.0 |
8.6 |
| INET |
9.4 |
0.0 |
9.4 |
Securities Listed on the NASDAQ/OTCBB
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
7.8 |
92.2 |
| ARCA |
17.6 |
2.1 |
15.5 |
| NITE |
16.7 |
0.00 |
16.7 |
| INET |
61.6 |
5.7 |
55.9 |
| CICF |
2.6 |
0.0 |
2.6 |
| LSCI |
1.5 |
0.0 |
1.5 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
0.0 |
100.0 |
| AMEX |
1.6 |
0.0 |
1.6 |
| CBOE |
27.7 |
0.0 |
27.7 |
| ISE |
56.8 |
0.0 |
56.8 |
| PCSX |
2.9 |
0.0 |
2.9 |
| PHLX |
7.8 |
0.0 |
7.8 |
| BOXX |
3.2 |
0.0 |
3.2 |
Order Routing Report Archives
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